AUB GROUP LIMITED — Major Shareholding Notification 2020

Sep 20, 2020

Form 604

Corporations Act 2001

Section 671B

Notice of change of interests of substantial holder

To Company Name/Scheme AUB Group Ltd ACN/ARSN ACN 000 000 715

1. Details of substantial holder (1)

Name Wellington Management Group LLP (“Wellington Management”), and its related bodies corporate

ACN/ARSN (if applicable)

There was a change in the interests of the substantial holder on 17/09/20 The previous notice was given to the company on 18/03/20 The previous notice was dated 16/03/20

2. Previous and present voting power

The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows:

follows:
Class ofsecurities (4)	PreviousNotice		PresentNotice
	Person’svotes	Voting power(5)	Person’svotes	Voting power(5)
Common Stock	4,516,727	6.12%	3,790,356	5.10%

3. Changes in relevant interests

Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:

Date of change	Person whose relevant interest changed	Nature of change (6)	Consideration given in relation to change (7)	Class and number of securities affected	Person’s votes affected
See Exhibit B

4. Present relevant interests

Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:

Holder of relevant interest	Registered holder of securities	Person entitled to be registered as holder(8)	Nature of relevant interest (6)	Class and number of securities	Person’s votes
Wellington Management	Unknown	Unknown	investment/voting authority (see example agreement attached as Exhibit A) in respect of the ordinary shares issued and allotted pursuant to the Scheme of Arrangement approved by the supreme court of South Australia on 21 June 2002	3,790,356 Common Stock	5.10%

5. Changes in association

The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the substantial holder in relation to voting interests in the company or scheme are as follows:

Name and ACN/ARSN(if applicable)	Nature of association
N/A

6. Addresses

The addresses of persons named in this form are as follows:

of persons named in this form are as follows:
Name	Address
Wellington Management	c/o Wellington Management Company LLP, 280 Congress Street, Boston MA 02210,USA

Signature

print name	Shaheen Hussain	capacity	Regulatory Analyst
sign here		date	18/09/20

Exhibit A

Wellington Management Group LLP (”Wellington Management”) Investment Management Agreement

Appointment of The Clients hereby appoint Wellington Management as investment manager to Wellington Management manage, supervise and direct the Clients’ investment account or accounts as Manager/ Acceptance (collectively, the “Account”) under the terms and conditions set forth in the of Appointment agreement. By execution of the Agreement, Wellington Management accepts appointment as investment manager and agrees to manage, supervise and direct the investments of the Account pursuant to the provisions of the Agreement.

Discretionary Authority - Wellington Management shall have full and complete discretion to manage, Investments supervise and direct the investment and reinvestment of assets in the Account and any additions thereto, subject to the investment objectives and guidelines attached to the Agreement. Wellington Management shall have full power and authority to act on behalf of the Account with respect to the purchase, sale, exchange, conversion or other transactions in any and all stocks, bonds, cash held for investment, and other assets, including shares of a registered investment company for which Wellington Management may act as investment adviser and, upon proper authorization by the Clients, interests in a collective trust maintained by a bank or trust company, including one maintained by an affiliate of Wellington Management. No cash or securities due to or held for the Account shall be paid or delivered to Wellington Management, except in payment of the management fee payable to Wellington Management under the Agreements pursuant to procedures approved by the Clients.

Exhibit B

3. Changes in relevant interests

Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:

Date of change	Person whose relevant interest changed	Nature of change (6)	Consideration given in relation to change (7)	Class and number of securities affected	Person’s votes affected
17/03/20	Wellington Management	Purchase	656,700 AUD	58,337 Common Stock	58,337
18/03/20	Wellington Management	Purchase	2,295,159 AUD	194,505 Common Stock	194,505
19/03/20	Wellington Management	Sale	-209,931 AUD	-18,475 Common Stock	-18,475
30/03/20	Wellington Management	Sale	-463,475 AUD	-48,865 Common Stock	-48,865
31/03/20	Wellington Management	Purchase	100,304 AUD	10,330 Common Stock	10,330
01/04/20	Wellington Management	Purchase	69,468 AUD	7,080 Common Stock	7,080
02/04/20	Wellington Management	Purchase	62,861 AUD	6,698 Common Stock	6,698
07/04/20	Wellington Management	Purchase	284,709 AUD	29,768 Common Stock	29,768
16/04/20	Wellington Management	Purchase	42,009 AUD	4,422 Common Stock	4,422
17/04/20	Wellington Management	Sale	-104,359 AUD	-10,447 Common Stock	-10,447
21/04/20	Wellington Management	Purchase	22,812 AUD	2,271 Common Stock	2,271
22/04/20	Wellington Management	Purchase	80,490 AUD	7,727 Common Stock	7,727
23/04/20	Wellington Management	Purchase	1,376,700 AUD	130,000 Common Stock	130,000
24/04/20	Wellington Management	Purchase	44,605 AUD	4,087 Common Stock	4,087
27/04/20	Wellington Management	Sale	-106,498 AUD	-9,685 Common Stock	-9,685
28/04/20	Wellington Management	Purchase	253,022 AUD	22,435 Common Stock	22,435
29/04/20	Wellington Management	Sale	-347,890 AUD	-30,261 Common Stock	-30,261
04/05/20	Wellington Management	Sale	-42,034 AUD	-3,666 Common Stock	-3,666
05/05/20	Wellington Management	Purchase	2,418,168 AUD	201,514 Common Stock	201,514
11/05/20	Wellington Management	Sale	-131,922 AUD	-11,074 Common Stock	-11,074
14/05/20	Wellington Management	Sale	-394,887 AUD	-32,033 Common Stock	-32,033
21/05/20	Wellington Management	Purchase	43,782 AUD	3,434 Common Stock	3,434
27/05/20	Wellington Management	Sale	-499,667 AUD	-39,067 Common Stock	-39,067
28/05/20	Wellington Management	Sale	-786,890 AUD	-59,845 Common Stock	-59,845
02/06/20	Wellington Management	Sale	-508,956 AUD	-38,373 Common Stock	-38,373
03/06/20	Wellington Management	Sale	-540,187 AUD	-40,977 Common Stock	-40,977
04/06/20	Wellington Management	Sale	-487,554 AUD	-35,648 Common Stock	-35,648
29/06/20	Wellington Management	Sale	-148,343 AUD	-10,386 Common Stock	-10,386
30/06/20	Wellington	Sale	-213,285 AUD	-14,803 Common	-14,803

	Management			Stock
02/07/20	Wellington Management	Sale	-349,778 AUD	-23,513 Common Stock	-23,513
03/07/20	Wellington Management	Sale	-369,792 AUD	-24,560 Common Stock	-24,560
06/07/20	Wellington Management	Sale	-54,834 AUD	-3,695 Common Stock	-3,695
13/07/20	Wellington Management	Sale	-126,710 AUD	-8,903 Common Stock	-8,903
14/07/20	Wellington Management	Sale	-163,647 AUD	-11,458 Common Stock	-11,458
15/07/20	Wellington Management	Sale	-950,945 AUD	-67,511 Common Stock	-67,511
16/07/20	Wellington Management	Sale	-2,446,987 AUD	-169,208 Common Stock	-169,208
20/07/20	Wellington Management	Sale	-13,834 AUD	-939 Common Stock	-939
21/07/20	Wellington Management	Sale	-3,809 AUD	-292 Common Stock	-292
22/07/20	Wellington Management	Sale	-211,831 AUD	-14,471 Common Stock	-14,471
23/07/20	Wellington Management	Sale	-90,684 AUD	-6,245 Common Stock	-6,245
24/07/20	Wellington Management	Sale	-264,178 AUD	-18,610 Common Stock	-18,610
27/07/20	Wellington Management	Sale	-94,340 AUD	-6,675 Common Stock	-6,675
28/07/20	Wellington Management	Sale	-9,409 AUD	-673 Common Stock	-673
29/07/20	Wellington Management	Sale	-58,443 AUD	-4,264 Common Stock	-4,264
04/08/20	Wellington Management	Sale	-1,108,523 AUD	-85,932 Common Stock	-85,932
07/08/20	Wellington Management	Sale	-37,745 AUD	-2,926 Common Stock	-2,926
10/08/20	Wellington Management	Sale	-1,063,044 AUD	-83,005 Common Stock	-83,005
12/08/20	Wellington Management	Purchase	105,021 AUD	8,195 Common Stock	8,195
13/08/20	Wellington Management	Sale	-351,625 AUD	-27,809 Common Stock	-27,809
14/08/20	Wellington Management	Sale	-37,973 AUD	-2,986 Common Stock	-2,986
17/08/20	Wellington Management	Sale	-4,484,313 AUD	-351,160 Common Stock	-351,160
01/09/20	Wellington Management	Sale	-45,894 AUD	-2,898 Common Stock	-2,898
08/09/20	Wellington Management	Sale	-453,198 AUD	-29,281 Common Stock	-29,281
16/09/20	Wellington Management	Purchase	134,743 AUD	8,335 Common Stock	8,335
17/09/20	Wellington Management	Sale	-1,229,832 AUD	-74,884 Common Stock	-74,884